有关法人处罚立法的刑法理论考察

A Theoretical Study on the Legislation of Legal Person Punishment in Criminal Law

在法人处罚立法上,可以并用法人和自然人同一视的个人模式和追究法人自身责任的组织模式,但在建构法人自身刑事责任方面,应当以过失犯为中心。在法人过失的认定上,仅考虑法人过失就足够了,将企业合规措施单独提出来加以考虑,缺乏积极意义。日本实务中的过失,不是在事前对其内容一概都有规定,而是根据个案的不同情况,斟酌考虑其中的注意义务内容,在法人过失犯罪案件中,必须实质性地考虑合规体制对于法人业务风险防控的意义。在对法人故意犯和过失犯具体分析的基础上,提出日本刑法中法人处罚的完善建议,建议在立法中增设处罚法人具体情形的明确规定。

In the legislation of corporate punishment,the individual model of treating legal persons and natural persons equally and the organizational model of holding legal persons accountable can be used simultaneously.However,in constructing the criminal responsibility of legal persons themselves,the focus should be on negligent offenders.In the determination of corporate negligence,considering corporate negligence is sufficient,but separately proposing corporate compliance measures lacks positive significance.The negligence in Japanese practice is not regulated in advance,but rather the content of the duty of care should be carefully considered according to the different situations of each case.In cases of corporate negligence crimes,the significance of compliance system for corporate business risk prevention and control must be substantially considered.Based on the specific analysis of intentional and negligent offenses committed by legal persons,this paper proposes suggestions for improving the punishment of legal persons in Japanese criminal law,and suggests adding clear provisions on the specific circumstances of punishing legal persons in legislation.